MEMORANDUM OF UNDERSTANDING
BETWEEN
THE DEPARTMENT OF STATE
BUREAU OF DIPLOMATIC SECURITY
j AND '
THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION
AND
THE DEPARTMENT OF DEFENSE
DEFENSE FORENSICS AND BIOMETRICS AGENCY
FOR
SHARING OF BIOMETRIC AND OTHER IDENTITY MANAGEMENT DATA
L PARTIES
The parties to this Memorandum of Understanding (MOO) are the Department of
State (DOS) Bureau of Diplomatic Security (DS), the Department of Justice (DOJ)
Federal Bureau of Investigation (FBI) Criminal Justice information Services (CHS)
Division, and die Department of Defense (DOD) Defense Forensics and Biometrics
Agency {OFBA}, hereinafter referred to as “party” or “the parties.”
II. PURPOSE
The purpose of this MOU is to share biometric and contextual data among the parties
by leveraging existing data sharing practices through developing a direct conduit for
the parties to access databases storing biometric information, ft is in the Nation’s
interest for DS, CJIS and DFBA to share this information to ensure the prompt and
accurate updating of biometric records worldwide, guaranteeing the overall accuracy
and thoroughness of regular name checks and background investigations for
suitability and security determinations. Facilitating and improving the capabilities of
each patty to share biometric information with each other will directly affect the
safety and security of US. Government officials and facilities domestically and
internationally. Under an existing information sharing MOU between DOD and FBI,
the DOD Automated Biometric Identification System (ABIS) shares biometric
information with CJIS through the. Integrated Automated Fingerprint Identification
System (lAPIS). Likewise, DS and CJIS share biometric data directly under an
interagency agreement for non-criminal justice applicant fingerprint checks.
IILAUTHORITY
DFBA enters into this MOU under the authority of National Security Presidential
Directive-59 (NSPD-59)/! lomeland Security Presidential Directive-24 (HSPD-24) for
the use, analysis, and sharing of biometric and associated biographic and contextual
information of individuals necessary to protect national security; Public Low 106-
246, section I I2j and DOD Directive 8521.01B, Department of Defense Biometrics.
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CJIS enters into this MOU under the authority of 5 U.S.C. § 9101, 28; U.S.C. § 533,
534; 28 C.F.R. § 0.85; and the Attorney General’s April l L 2002, order to coordinate
and share information related to terrorism.
DS enters into this MOU under the authority of Executive Order 12968, Access to
Classified Information; 5 C.F.R. § 731, Suitability and Actions; NSPD-59/iiS PD-24
for the use, analysis, and sharing of biometric and associated biographic and
contextual information of individuals necessary to protect national security; HSPD-V2
for use of the government-wide standard identification system; HSPD-11 regarding
immigration; HSPD-6 for diplomatic, law enforcement, immigration, visa and
protective processes; 22 U.S.C. § 4806, Protection of Foreign Consulates; 22 U.S.C. §
4807, Establishment of Visa and Passport Security Program in the Department of
State; 18 U.S.C. § 911, False representation of citizens of the United States; 18
U.S.C. § 1028, Fraud and related activity in connection with identification
documents, authentication features, and information; 18 U.S.C. § 1546, Fraud and
misuse of visas, permits, and other documents; and 18 U.S.C. § 7, Special maritime
and territorial jurisdiction of the United States.
IV. DEFINITIONS
A. BIOMETRIC: A measure of an identifying physical aspect of an individual—
e.g., a fingerprint, iris scan, or DNA—that can be turned into a digital template
capable of being electronically stored and compared for verification or matching
purposes.
B. BIOMETRIC DATA: Computer data created during a biometric process. It
encompasses raw sensor observations, biometric samples, models, templates
and/or similarity scores. Biometric data is used to describe the information
collected during an enrollment, verification, or identification process, but does not
apply to end user information such as user name, demographic information and
authorizations.
C. BIOMETRICS: A general term used alternatively to describe a characteristic or a
process. As a characteristic, it is the measure of a biological (anatomical and
physiological) and/or behavioral biometric characteristic that can be used lor
automated recognition. As a process, it is automated methods of recognizing an
individual based on the measure of biological (anatomical and physiological)
and/or behavioral biometric characteristics.
D. CONTEXTUAL DATA: Elements of biographical and situational information
associated with an enrollment and permanently recorded as an integral component
of foe biometric file.
E. DEROGATORY INFORMATION: For the purposes of this MOU and associated
annexes, derogatory information is defined as any information related to known or
suspected involvement in terrorism or terrorist activities; known criminal history;
known or suspected participation in espionage or counter-intelligence activities;
known or suspected falsification of records in seeking employment with any U.S.
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government entity or access to any U.S. Government facility; known or suspected
falsification of travel documents.
F. ENROLLMENT: The process of collecting a biometric sample from a biometric
subject, converting it into a biometric reference, and storing it in the biometric
system's database for later comparison.
G. INFORMATION INCIDENT: The loss of control, compromise, unauthorized
disclosure, unauthorized acquisition, unauthorized access, or any similar term
referring to situations where persons other than authorized users, or for any other
than authorized purpose, have access or potential access to shared unclassified
information in usable form, whether physical or electronic.
H. PERSONALLY IDENTIFIABLE INFORMATION (PII): Information which
can be used to distinguish or trace an individual's identity, such as their name,
social security number, biometric records, etc., alone, or when combined with
other personal or identifying information linked or linkable to a specific
individual, such as date and place of birth, mother’s maiden name, etc,
I. PERSONS OF INTEREST: Any non-U.S. person on whom DS holds derogatory’
information as defined above.
j. U.S. PERSON: A living parson who is a citizen of the United States, an alien
lawfully admitted for permanent residence in the United States, or a member of
the U.S. Armed Forces.
V. BACKGROUND
DS is responsible for providing a safe and secure environment for the conduct of U.S.
foreign policy worldwide, establishing a security infrastructure to protect personnel,
information and computer security. The Assistant Director lor Domestic Operations
(DS/DO) leads a global investigative office that conducts both criminal investigations
involving tire issuance of U.S. passports and visas and complex visa fraud
investigations Involving human smuggling, organized crime, or terrorism. The Office
of Personnel Security and Suitability (DS/S l/PSS) reviews and analyzes background
investigations of candidates for employment, and for employees and contractors
seeking physical and logical access to DS to assure that panting an individual access
to classified information is consistent with the interests of national security.
DS/SI/PSS conducts approximately 35,000 personnel security background
investigations for suitability determinations and clearances each year. These
background investigation s include an Increasing number of requests and applications
from foreign nationals for access to U.S. facilities abroad. The Deputy Assistant
Secretary and Assistant Director for International Programs (DS/IP) and the Deputy
Assistant Secretary for High T hreat Programs (DS/MT P) provide leadership, support,
and oversight of overseas security and law enforcement programs and related policy
for the benefit of U.S. Government interests and foe international community.
The CJ1S Division serves as foe Nation's central repository for identification and
criminal history record information. The CJIS Division maintains millions of digital
representations of fingerprint images, features from digital fingerprint images, and
associated criminal history record information in the Fingerprint Identification
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Record System (FIRS). 'fhe FIRS incorporates an automatic fingerprint search
capability via its IAFIS.
DFBA leads and coordinates the development, adoption and institutionalization of
biometric techniques for acquiring and retaining biometric and other descriptive data
recorded by military units. DFBA’s Biometrics Identity Management Activity
(BIMA) operates and maintains die DOD’s ABTS, which stores, matches, and shares
biometrics and other identity management data (including biographical and
contextual data).
The parties acknowledge that the information involved in this MOU may identify
U.S. persons whose information is protected by the Privacy Act of
1974 and/or Executive Order 12333 (or any successor executive order). All such
information will be handled lawfully pursuant to the provisions thereof.
VI. RESPONSIBILITIES
All parties will'
1. Adhere to applicable technical standards, appropriate business processes, and
privacy protection mechanisms required under the Privacy Act of 1974 related
to die sharing of U.S. Government data and conform to OMB Memorandum
M-07-16, Safeguarding Against and Responding to the Breach of Personally
Identifiable Information (PH). Subsequent to the signing of this MOU , the
parties will develop and agree to technical procedures identifying die specific
processes by which privacy protections will be observed. No data will be
shared pursuant to this MOU until such procedures are implemented.
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3.
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4,
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6. Report to the other parties immediately upon discovering that an information
incident has occurred. _
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VII. FUNDING
This MQU is not an obligation or commitment of funds, nor a basis for transfer of
funds. Unless otherwise agreed to in writing, each party shall bear its own costs in
relation to this MOU. Expenditures by each party will be subject to its budgetary
processes and to the availability of funds and resources pursuant to applicable laws,
regulations, and policies. The parties expressly acknowledge that this in no way
implies that Congress will appropriate funds for such expenditures.
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VIII. EFFECT OF THIS AGREEMENT
This MOU is not intended, and should not be construed, to create any right or benefit,
substantive or procedural, enforceable at law or otherwise against any of the parties,
their parent agencies, the United States, or the officers, employees, agents, or other
associated personnel thereof. The parties will seek to resolve any disputes regarding
this MOU by mutual consultation.
This MOO does not rescind or modify, in whole or in part, any existing agreements
between or among the parties. In foe event of an inconsistency or conflict between
this and other agreements, the party identifying the issue will discuss and resolve the
conflict with all other parties before any action is taken. Additionally, should any
conflict arise concerning the substance or interpretation of the terms of this
agreement, the issues in question will be discussed and resolved by all parties before
any action is taken.
IX. DISPUTE RESOLUTION
In foe event that disputes among I)S, CITS, and DPBA cannot be resolved at the
program level, despite good faith efforts, the matter should he elevated to the
approving officials listed in section XI for resolution.
X. EFFECTIVE' DATE,DURATION, AMENDMENT, TERMINATION
The terms of this agreement and any subsequent addenda shall be effective upon the
signature of all parties and shall continue in effect unless notice is given by one party
to the others that the notifying party wishes to renegotiate, terminate, or withdraw
from the agreement. Such written notice shall be provided at least 60 days prior to foe
proposed amendment, termination, or withdrawal. Modifications shall have a written
agreement of consent by all parties.
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The authorized agency officials whose signatures appear below have committed their
respective agencies to the terms of this agreement, subject to annual review to
determine whether amendments are needed.
XI. APPROVAL
The foregoing represents the understanding readied between DS, CJ1S, and DFBA.
\ \ \ v *■'
.
. Starr A \
Gregory 1 * starry
Principal Deputy Assistant Secretary
Bureau of Diplomatic Security
Department of State
Date
Criminal Justice Information Sendees Division
Federal Bureau of Investigation
Defense Forensics and BiometricsXgerk
Department of Defense
Date
ixlaLk
Datd
Attached:
A. Annex 1 - Subsequent Exchange of Data between the Department of State,
Bureau of Diplomatic Security, Office of Personnel Security and Suitability: and
the Department of Justice, Federal Bureau of Investiption, Criminal Justice
Information Services Division; and the Department of Defense, Defense Forensics
and Biometrics Agency
B. Annex 2 - Subsequent Exchange of Data between the Department of State,
Bureau of Diplomatic Security, Directorate of Domestic Operations; and the
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Department of Justice, Federal Bureau of investigation, Criminal Justice
Information Services Division; and the Department of Defense, Defense Forensics
and Biometrics Agency
C. Annex 3 - Subsequent Exchange of Data between the Department of State,
Bureau of Diplomatic Security, Directorates of International Programs and High
Threat Programs; and the Department of Justice, Federal Bureau of Investigation,
Criminal Justice Information Services Division; and the Department of Defense,
Defense Forensics and Biometrics Agency
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ANNEX 1
SUBSEQUENT EXCHANGE OF DATA
BETWEEN
THE DEPARTMENT OF STATE
BUREAU OF DIPLOMATIC SECURITY
OFFICE OF PERSONNEL SECURITY AND SUITABILITY
AND
THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION
AND
THE DEPARTMENT OF DEFENSE
DEFENSE FORENSICS AND BIOMETRICS AGENCY
This Annex is governed by the general provisions of the Memorandum of Understanding
(MOU) between the Department of State (DOS) Bureau of Diplomatic Security (DS), the
Federal Bureau of Investigations (FBI) Criminal Justice Information Services Division
(CJIS) and tire Department ofDefense (DOD) Defense Forensics and Biometrics Agency
(DFBA) for sharing of biometric and other identity management data.
L PURPOSE
The purpose of this Annex is to allow the DS Security Infrastructure (St) Office of
Personnel Security and Suitability (PSS) to conduct relevant data inquiries for DS
personnel investigative purposes and to share relevant information on persons of interest
with the DFBA.
IL OBJECTIVE
The objective of this Annex is to establish procedures by which DS/SI/PSS will submit
information for retention within the DOD Automated Biometric Identification System
(ABIS) after the initial searches have been completed pursuant to the DS-CJ1S-DFBA
MOU. These procedures will ensure the prompt and accurate updating of records and
contribute to the overall comprehensiveness of background investigations for suitability
and security determinations.
III. SCOPE
This Annex does not cancel or supersede existing agreements between DS/SI/PSS and
DFBA or any other party, 'fhis Annex is confined to data exchanged under the authorities
listed at Section HI of tire source MOU among DS. CJIS and DFBA.
IV, PROCEDURES_
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V. FUNDING
This Annex is not an obligation or commitment of funds, nor a basis for transfer of funds.
Unless otherwise agreed to in writing, each party shall bear its own costs in relation to
this Annex and its source MOU. Expenditures bv each party will be subject to its
budgetary processes and to the availability of funds and resources pursuant to applicable
laws, regulations, and policies. The parties expressly acknowledge that this in no way
implies that Congress will appropriate funds for such expenditures.
VI. EFFECTIVE DATE, DURATION, AMENDMENT, TERMINATION
This Annex shall be effective upon tire signature of all parties and shall continue in effect
unless notice is given by one party to the other that the notifying party wishes to
renegotiate, terminate, or withdraw from the agreement. Such written notice shall be
provided at least 60 days prior to the proposed amendment, termination, or withdrawal.
Modifications shall have a written agreement of consent by both parties.
The authorized agency officials whose signatures appear in the MOU have committed
their respective agencies to rise terms of this agreement, subject to annual review to
determine whether amendments are needed.
VII. APPROVAL
The foregoing represents the understanding reached between DS/SUPSS, GJIS, and
DFBA. Signatures of agreement on the MOU indicate approval of this annex.
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ANNEX 2
SUBSEQUENT EXCHANGE OF DATA
BETWEEN
THE DEPARTMENT OF STATE
BUREAU OF DIPLOMATIC SECURITY
DIRECTORATE OF DOMESTIC OPERATIONS
AND
THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION
AND
THE DEPARTMENT OF DEFENSE
DEFENSE FORENSICS AND BIOMETRICS AGENCY
This Annex is governed by the general provisions of the Memorandum of Understanding
(MOU) between the Department of State (DOS) Bureau of Diplomatic Security (DS), the
Federal Bureau of Investigations (FBI) Criminal Justice Information Services Division
(CJIS,) and the Department of Defense (DOD) Defense Forensics and Biometries Agency
(DFBA) for sharing of biometric and other identity management data.
L PURPOSE
The purpose of this Annex is to allow DS Domestic Operations (IX)) to conduct relevant
data inquiries for DS investigative purposes and to share relevant information on persons
of interest with the DFBA.
IT OBJECTIVE
The objective of tills Annex is to establish procedures by which DS/DO will submit
information for retention within ABIS after the initial searches have been completed
pursuant to the DS-CJIS-DFBA MOU. These procedures will ensure the safeguard and
bona tides of U.S. visas and travel documents during the investigative process and
contribute to tire protection of U.S'. Government facilities overseas.
III. SCOPE
This Annex does not cancel or supersede existing agreements between DS/DO and
DFBA or any other party. This Annex is confined to data exchanged under the authorities
listed at Section III of the source MOU among DS, CJIS and DFBA.
IV PROCEDURES
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V. FUNDING
This Annex is not an obligation or commitment of funds, nor a basis for transfer of funds.
Unless otherwise agreed to in writing, each party shall bear its own costs in relation to
this Annex and its source MOU. Expenditures by each party will be subject to its
budgetary processes and to the avai lability of funds and resources pursuant to applicable
laws, regulations, and policies. The parties expressly acknowledge that this in no way
implies that Congress will appropriate funds for such expenditures.
VL EFFECTIVE DATE, DURATION, AMENDMENT, TERMINATION
This Annex shall be effective upon the signature of both parties and shall continue in
effect unless notice is given by one party to the other that the notifying party wishes to
renegotiate, terminate, or withdraw from the agreement. Such written notice shall be
provided at least 60 days prior to the proposed amendment, termination, or withdrawal.
Modifications shall have a written agreement of consent by both parties.
The authorized agency officials whose signatures appear in the MOU have committed
their respective agencies to the terms of fills agreement, subject to annual review to
determine whether amendments are needed.
VII. APPROVAL
The foregoing represents the understanding reached between DS/DO and DFBA.
Signatures of agreement on the MOU indicate approval of this annex.
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ANNEX 3
BETWEEN
THE DEPARTMENT OF STATE
BUREAU OF DIPLOMATIC SECURITY
DIRECTORATES OF INTERNATIONAL PROGRAMS AND HIGH THREAT
PROGRAMS
AND
THE DEPARTMENT OF JUSTICE FEDERAL BUREAU OF INVESTIGATION
CRIMINAL JUSTICE INFORMATION SERVICES DIVISION
AND
THE DEPARTMENT Of DEFENSE
DEFENSE FORENSICS AND BIOMETRICS AGENCY
This Annex is governed by the general provisions of the Memorandum of Understanding
(MOU) between the Department of State (DOS) Bureau of Diplomatic Security (DS), the
Federal Bureau of Investigations (FBI) Criminal Justice Information Services Division
(CHS) and the Department of Defense (DOD) Defense Forensics and Biometrics Agency
(DFBA) for sharing of biometric and other identity management data.
I. PURPOSE
The purpose of this Annex is to allow the Deputy Assistant Secretary and Assistant
Director tor International Programs (DS/IP) and the Deputy Assistant Secretary for
High Threat Programs (DS/HTP) through Regional Security Offices (RSO) in U.S.
Embassies and Consulates to conduct relevant data inquiries for DS investigative and
vetting purposes, and to share relevant information on persons of interest to the
DFBA.
II. OBJECTIVE
The objective of this Annex is to establish procedures by which DS/fP and DS/HTP
through the RSOs will submit information for retention within ABIS alter the initial
searches have been completed pursuant to the DS-CJIS-DFBA MOU. These
procedures will safeguard U. S, diplomatic facilities and information overseas
III. SCOPE
This Annex does not cancel or supersede existing agreements between DS/IP and/or
DS/HTP and DFBA or any other party. This Annex is confined to data exchanged
under the authorities listed at Section HI of the source MOU among DS. CJIS and
DFBA.
IV. PROCEDURES
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V. FUNDING
This Annex is not an obligation or commitment of funds, nor a basis for transfer of
funds. Unless otherwise agreed to in writing, each party shall bear its own costs in
relation to this Annex and its source MOU. Expenditures by each party will be
subject to its budgetary processes and to the availability of funds and resources
pursuant to applicable laws, regulations, and policies. The parties expressly
acknowledge that this in no way implies that Congress will appropriate funds for such
expenditures.
VI. EFFECTIVE DATE, DURATION, AMENDMENT, AND TERMINATION
This Annex shall be effecti ve upon the signature of both parties and shall continue in
effect unless notice is given by one party to the other that the notifying party wishes
to renegotiate, terminate, or withdraw from the agreement. Such written notice shall
be provided at least 60 days prior to the proposed amendment, termination, or
withdrawal. Modifications shall have a written agreement of consent by both parties.
Theauthorized agency officials whose signatures appear in the MOU have committed
their respective agencies to the terms of this agreement, subject to annual review 7 to
determine whether amendments are needed.
VII. APPROVAL
lire foregoing represents the understanding reached between DS/1P, DS/HTP and
DFBA. Signatures of agreement on the MOU indicate approval, of this annex.
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